0001214659-15-000197.txt : 20150107
0001214659-15-000197.hdr.sgml : 20150107
20150107173623
ACCESSION NUMBER: 0001214659-15-000197
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150105
FILED AS OF DATE: 20150107
DATE AS OF CHANGE: 20150107
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: EMCORE CORP
CENTRAL INDEX KEY: 0000808326
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 222746503
STATE OF INCORPORATION: NJ
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 10420 RESEARCH ROAD, SE
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87123
BUSINESS PHONE: 505-332-5000
MAIL ADDRESS:
STREET 1: 10420 RESEARCH ROAD, SE
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RITTICHIER JEFFREY
CENTRAL INDEX KEY: 0001628825
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 15514360
MAIL ADDRESS:
STREET 1: 2015 CHESTNUT ST
CITY: ALHAMBRA
STATE: CA
ZIP: 91803
4
1
marketforms-28370.xml
PRIMARY DOCUMENT
X0306
4
2015-01-05
0000808326
EMCORE CORP
EMKR
0001628825
RITTICHIER JEFFREY
2015 W. CHESTNUT STREET
ALHAMBRA
CA
91803
true
true
false
false
Chief Executive Officer
Common Stock
2015-01-05
4
A
false
75000
A
75000
D
Common Stock
2015-01-06
4
S
false
29563
5.18
D
45437
D
Common Stock
2015-01-06
4
S
false
475
5.2292
D
44962
D
Restricted Stock Units
2015-11-05
4
A
false
225000
0
A
Emcore Common Stock
225000
225000
D
These shares were issued as part of a 300,000 restricted stock unit grant under the Company's 2012 Equity Incentive Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). This entry represents a portion of the total grant of restricted stock units that vested immediately and was settled in common stock on the grant date.
The shares of common stock were awarded to the Reporting Person for no cash or other similar consideration.
All sales were effected by the reporting person to satisfy the Reporting Person's tax liability in connection with the granting of restricted stock units under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d).
Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
Vests in three equal annual installments commencing on January 5, 2016. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of the two will be delivered to the Reporting Person.
The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
/s/ Jeffrey Rittichier
2015-01-06